Current Report Filing (8-k)

Date : 05/13/2019 @ 9:01PM
Source : Edgar (US Regulatory)
Stock : Soliton Inc (SOLY)
Quote : 12.86  0.0 (0.00%) @ 9:00AM
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Current Report Filing (8-k)

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

___________________________

FORM 8-K

 

CURRENT REPORT

Pursuant to Section 13 or 15(d) of the

Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported): May 13, 2019 ( May 11 , 2019)

___________________________

Soliton, Inc.

(Exact name of registrant as specified in its charter)

___________________________

 

Delaware

001-38815

36-4729076

(State or other jurisdiction of

incorporation or organization)

(Commission File Number)

(I.R.S. Employer Identification No.)

 

5304 Ashbrook Drive

Houston, Texas 77081

 (Address of principal executive offices) (Zip Code)

 

Registrant’s telephone number, including area code: (844) 705-4866

 

Not Applicable

(Former Name or Former Address, if Changed Since Last Report)

___________________________

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions ( see General Instruction A.2. below):

 

☐     Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

 

☐     Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

 

☐     Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

 

☐     Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

 

Emerging growth company ☒

 

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.

 

Securities registered pursuant to Section 12(b) of the Act:

 

Title of each class

Trading Symbols(s)

Name of each exchange on which registered

Common stock, par value $0.001 per share

SOLY

The NASDAQ Stock Market LLC

 

 

 

 

Item 7.01. Regulation FD Disclosure

 

As previously announced in the Form 8-K filed by Soliton, Inc. (the “Company”) on April 15, 2019, Dr. Elizabeth Tanzi of Capital Laser and Skin Care presented preliminary data from the Company’s completed cellulite trial at the Symposium for Cosmetic Advances and Laser Education conference in Nashville, Tennessee on May 11, 2019. A copy of the conference presentation is attached to this report as Exhibit 99.1 and is incorporated by reference herein.

 

The information contained in Item 7.01 of this Current Report on Form 8-K, including Exhibit 99.1, is being furnished and shall not be deemed to be “filed” for the purpose of the Securities Exchange Act of 1934, as amended (“Exchange Act”), nor shall it be deemed incorporated by reference in any filing under the Exchange Act or the Securities Act of 1933, as amended, unless specifically identified therein as being incorporated by reference.

 

Some of the statements in the conference presentation are forward-looking statements within the meaning of Section 27A of the Securities Act of 1933, Section 21E of the Securities Exchange Act of 1934 and the Private Securities Litigation Reform Act of 1995, which involve risks and uncertainties. Although the Company believes that the expectations reflected in such forward-looking statements are reasonable as of the date made, expectations may prove to have been materially different from the results expressed or implied by such forward-looking statements. Forward-looking statements are identified by terminology including ''believes,'' ''estimates,'' ''anticipates,'' ''expects,'' ''plans,'' ''projects,'' ''intends,'' ''potential,'' ''may,'' ''could,'' ''might,'' ''will,'' ''should,'' ''approximately'' or other words that convey uncertainty of future events or outcomes to identify these forward-looking statements. These statements are only predictions and involve known and unknown risks, uncertainties, and other factors, including those discussed under in our SEC filings, including under the heading "Item 1A. Risk Factors" in the Form 10-K for year ended December 31, 2018 we filed with the SEC and updated from time to time in our Form 10-Q filings and in our other public filings with the SEC. Any forward-looking statements contained in the conference presentation speak only as of its date. The Company undertakes no obligation to update any forward-looking statements contained in the conference presentation to reflect events or circumstances occurring after its date or to reflect the occurrence of unanticipated events.

 

Item 9.01.  Financial Statements and Exhibits

 

 (d) Exhibits

 

 

Exhibit No.

Exhibit

 

 

 

 

99.1

Symposium for Cosmetic Advances and Laser Education Conference Cellulite Presentation

 

 

 

 

Signature

 

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

 

 

 

SOLITON, INC.

 

 

 

 

 

 

 

 

 

 

By:

/s/ Lori Bisson                      

 

 

 

Lori Bisson

 

 

 

Executive Vice-President,

 

 

 

Chief Financial Officer

 

 

Dated: May 13, 2019

 

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